Holm & Cawley Financial Group Llc
- Regulatory AUM
- $129M
- Discretionary
- $108M
- Clients
- 251
- Avg AUM / client
- $513K
- Accounts
- 412
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 04, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 217 | $48.2M | 37.4% |
| High net worth individuals | 28 | $60.0M | 46.6% |
| Pension and profit sharing plans | 6 | $20.6M | 16.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Plusone Company 401(k) Plan Plusone Company | 2024 | |
| Village Capital 401(k) Plan Village Capital & Investment, Llc | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Benjamin Claude Cawley | Registered representative | Jul 2009 (17y) | ||
| Kris Anthony Holm | Registered representative | Jan 2011 (16y) | ||
| Reuben Hammon Cawley | Registered representative | Sep 2016 (10y) | ||
| Shay W Lewis | Registered representative | Jun 2024 (2y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Plusone Company 401(k) Plan | Plusone Company | 78 | $2.0M | 01/01/2024 |
| Village Capital 401(k) Plan | Village Capital & Investment, Llc | 674 | $6.9M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/04/2026 | 1.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $86.6M (67% of AUM) Mar 2026
- Interactive Brokers $19.9M (15% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 04, 2026.
View current Form ADV (SEC/IAPD) ↗